State of Vermont v. Trent Saari; State of Vermont v. Patrick Branch
Nos. 86-511 and 86-512
State of Vermont Supreme Court
September 15, 1989
568 A.2d 344 | 152 Vt. 510
Allen, C.J., Peck, Gibson,1 Dooley and Mahady, JJ.
Opinion Filed September 15, 1989
Walter M. Morris, Jr., Defender General, and Henry Hinton, Appellate Defender, Montpelier, for Amicus Curiae.
Peck, J. In this appeal, the State consolidated two misdemeanor cases, one a driving offense and the other a simple assault on a police officer. In each case, the trial judge ignored the minimum sentence mandated by the legislature, and imposed a lesser sentence, finding that the statutory minimum sentences violated the proportionality clause of Vermont’s constitution and violated defendants’ rights to allocution. The State filed motions to reconsider the sentences, but the trial court denied the motions. The State appeals from the denial of these motions. We consider the issue as a petition for extraordinary relief and deny the relief requested, although we conclude the trial court’s actions were erroneous.
Because important issues were raised in these appeals and defendants appeared pro se and did not file a brief in this Court, we requested the Defender General to submit a brief as amicus curiae in support of the trial court decisions. We appreciate the Defender General’s response to our request.
I.
Jurisdictional Issues
In filing its appeal, the State relies on V.R.A.P. 4(9) as reflecting, if not creating, a right in the State to appeal the trial court’s denial of its motions to modify the sentences. Amicus argues that the State’s motion to reconsider sentence in State v. Saari should have been denied as untimely and no appeal to this Court allowed. Defendant Saari was sentenced on July 15, 1986. The State filed a motion to reconsider sentence on July 24, 1986, nine days after imposition of sentence. The State is required, under
While it is true that V.R.A.P. 4(9) refers to an appeal of an order granting or denying a motion to modify a criminal
If the State’s attempted appeal ran afoul of the double jeopardy clause of the United States Constitution, we would look no further to exercise jurisdiction. There is, however, no constitutional bar to the State’s appeal of a sentence it believes is beyond the lawful authority of the trial court. United States v. DiFrancesco, 449 U.S. 117, 136 (1980) (“The double jeopardy considerations that bar reprosecution after an acquittal do not prohibit review of a sentence.”).
Although no statute confers appellate jurisdiction in this case, the State may avail itself of our jurisdiction through a petition for extraordinary relief. V.R.A.P. 21. Extraordinary relief provides the proper avenue for redress where no other relief exists. Crabbe v. Veve Assoc., 145 Vt. 641, 643, 497 A.2d 366, 368 (1985).
Among the writs consolidated in the extraordinary relief rule is mandamus, see V.R.A.P. 21(a), which “will lie for the enforcement of a purely ministerial act, that is, an act ‘regarding which
Mandamus is appropriately invoked “‘to confine an inferior court to a lawful exercise of its prescribed jurisdiction or to compel it to exercise its authority when it is its duty to do so’ . . . [but] only exceptional circumstances amounting to a judicial ‘usurpation of power’ will justify the invocation of this extraordinary remedy.” Will v. United States, 389 U.S. 90, 95 (1967) (mandamus denied; improper review of discovery order requested) (quoting Roche v. Evaporated Milk Ass’n, 319 U.S. 21, 26 (1943), and De Beers Consol. Mines, Ltd. v. United States, 325 U.S. 212, 217 (1945)); see also Ex parte United States, 242 U.S. 27, 39-40 (1916); United States v. Denson, 588 F.2d 1112, 1129 (5th Cir. 1979) (court denied review of sentence brought by petition for writ of mandamus); United States v. Hundley, 858 F.2d 58, 66 (2d Cir. 1988) (motion to set aside sentence denied). We hold that the trial court stepped outside its authority by rejecting the applicable sentencing statute. Therefore, extraordinary relief in the nature of mandamus is an appropriate vehicle for review. See Roche v. Evaporated Milk Ass’n, 319 U.S. at 26 (considerations guiding judicial discretion in use of mandamus include whether act was within trial court’s jurisdiction or tended to thwart appellate review of ruling); United States v. Jackson, 550 F.2d 830, 831 (2d Cir. 1977) (petition for mandamus granted to review sentence and case remanded).
A petition for extraordinary relief is normally presented to this Court with an allegation, supported by affidavit, stating that no adequate remedy is available through the superior court. V.R.A.P. 21(b); see Reed v. Department of Public Safety, 137 Vt. 9, 11, 398 A.2d 301, 303 (1979). This was not done here. But this Court may, on its own motion, “suspend the requirements or provisions of any of these rules in a particular case” for good cause. V.R.A.P. 2; see In re Smith, 131 Vt. 24, 25, 298 A.2d 823, 825 (1972). We will do so here because of the impor-
II.
Proportionality of Statutory Minimum Sentences
The argument proffered by amicus, and suggested by the trial court’s ruling, is that minimum sentences are disproportionate per se and thereby violate the Vermont Constitution.
Furthermore, this claim seems not to fall squarely under the tripartite federal test for gross disproportionality. See State v. Venman, 151 Vt. 561, 572, 564 A.2d 574, 581 (1989) (citing Solem
We have noted that the legislature has broad latitude to make changes in the penal code which address the community’s concerns with lawless behavior. See id. at 596, 144 Cal. Rptr. at 506 (mandatory minimum ninety-day sentence for use of heroin was not “so disproportionate as to shock the conscience and offend fundamental notions of human dignity”) (emphasis in original); People v. Gomez, 120 Ill. App. 3d 545, 548, 458 N.E.2d 565, 567 (1983) (mandatory minimum four years incarceration for residential burglary not disproportionate under state constitution where legislation would not shock the moral sense of the community); Norris v. State, 271 Ind. 568, 575-76, 394 N.E.2d 144, 150 (1979) (mandatory life sentence for “habitual criminal” not grossly out of proportion to the severity of the crime).
The dissent contends that minimum sentencing standards are inconsistent with Vermont’s tradition of evaluating punishment for proportionality with the crime, referring to the Council of Censors which prevented such eighteenth-century atrocities as mutilation of the convict. While we appreciate the tradition, we feel the analogy is somewhat out of scale. Furthermore, we note that the suggestions of the Council were given force and effect only through adoption by the legislature, much as sentence re-
Moreover, the penalties imposed under these statutes are of the same magnitude as minimum penalties previously imposed for these crimes. See
Viewed in this way, the issue becomes one of whether the legislature has wrongly usurped the prerogative of the trial courts to determine sentences. This issue, framed as a violation of the separation of powers doctrine,5 is squarely raised on appeal by amicus curiae; we will consider it because it is adequately briefed and no factual development is necessary to aid our determination of the legal issue.
III.
Separation of Powers
The separation of powers doctrine was raised in a challenge to “determinative-sentence guidelines” in Mistretta v. United States, 488 U.S. 361, 370, 109 S. Ct. 647, 653 (1989). The United States Supreme Court rejected that argument, noting that “[h]istorically, federal sentencing—the function of determining the scope and extent of punishment—never has been
Sentencing is not, therefore, solely a judicial function derived from constitutional mandates. Cf. In re Hill, 149 Vt. 431, 438-39, 545 A.2d 1019, 1024 (1988) (specific constitutional mandate to assure the integrity of the judiciary required empowering the Judicial Conduct Board with prosecutorial
“As we have consistently held, where the meaning of a statute is plain and unambiguous, we are required to enforce it according to its terms, without resort to statutory construction.” In re Hough, 143 Vt. 15, 19, 458 A.2d 1134, 1136 (1983). The language of
Furthermore, we note that there is no conflict between the sentencing statutes at issue here and V.R.Cr.P. 32. The rule regarding the sentencing discretion of the courts is procedural,
IV.
Allocution
The trial court also ruled that statutory minimum sentences violated defendants’ rights to allocution provided by
The principle of allocution, which gives defendants in our courts the opportunity to address the bench prior to sentencing, is a tradition of the common law which developed when death was the penalty for felony convictions and the accused often was not allowed to testify. 3 W. LaFave & J. Israel, Criminal Procedure § 25.1(f) (1984). We have preserved the practice in V.R.Cr.P. 32. See In re Stevens, 144 Vt. 250, 258, 478 A.2d 212, 217 (1984) (“right of allocution in Vermont now derives solely from V.R.Cr.P. 32(a)(1)”). Stevens is the only Vermont case de-
We do not agree. That allocution is statutory and not constitutional means that the legislature can interfere with that right and could even eliminate it, should it choose to do so. Federal courts have indicated that allocution need not obtain where the sentence rendered or reconsidered is fixed by law. United States v. Connolly, 618 F.2d at 556.9
The opportunity to affect the court’s decision is the primary purpose of the right. In the present cases, the trial court was authorized to impose sentences above the statutory minimums. Therefore, it was appropriate that defendants were given an opportunity to speak in their own behalf at sentencing.
IV.
Result
The remedy requested by the State is that the cases be remanded for sentencing of defendants in compliance with the appropriate mandatory minimums. That result would require incarceration of both defendants more than three years after the crimes were committed, due to an error on the part of the trial court and delay in this Court. Not only does the requested remedy strike us as unfair, but it also defeats the purposes of punishment by incarceration. See generally III ABA Standards for Criminal Justice § 18-2.2, at 57-67 (2d ed. 1980) (purposes of confinement vary from retribution to rehabilitation to preventing similar future crimes). Moreover, the delay in imposing the appropriate minimum sentence may be interpreted as “deliberate” and, consequently, violative of V.R.Cr.P. 32(a). See Reporter’s Notes, V.R.Cr.P. 32, at 147 (“The requirement . . . that
Extraordinary relief is denied.
Mahady, J., concurring and dissenting. I concur that the relief sought by the State in these appeals should be denied. I write separately, however, to dissent from the majority’s extensive dicta which upholds the constitutionality of the mandatory minimum sentencing provisions involved. The issue is whether the trial court erred in its determination that a legislatively-prescribed mandatory minimum sentence upon conviction violated the defendant’s right of allocution and/or the proportionality clause of Chapter II, § 39 of the Vermont Constitution. In each of the cases below, the sentencing judge refused to be bound by the mandatory sentences provided by the applicable statutes. I would hold that the sentencing judge was correct.
I.
The Vermont Rules of Criminal Procedure provide that “[b]efore imposing sentence the court shall . . . afford counsel an opportunity to speak on behalf of the defendant; and . . . address the defendant personally and ask him if he wishes to make a statement in his own behalf and to present any information relevant to sentencing.” V.R.Cr.P. 32(a)(1)(B)-(C). The rules also provide that “[p]rior to imposing sentence, the court shall afford . . . the defendant and his attorney an opportunity to comment upon any and all information submitted to the court for sentencing.” V.R.Cr.P. 32(c)(4).
These Rules implement the guarantee of
The right of allocution is also time honored. “As early as 1689, it was recognized that the court’s failure to ask the defendant if he had anything to say before sentence was imposed required reversal.” Green v. United States, 365 U.S. 301, 304 (1961) (citing Anonymous, 3 Mod. 265, 266, 87 Eng. Rep. 175 (K.B.)). Justice Black noted that “[a] rule so highly prized for so sound a reason for so long a time deserves to be rigorously enforced . . . , not merely praised in resounding glittering generalities calculated to soften the blow of nonenforcement.” Id. at 311 (Black, J., dissenting). Accordingly, this Court has deemed it appropriate to “agree with the spirit of Justice Black’s dissent,” stating: “Allocution in Vermont is not to be an empty act.” In re Stevens, 144 Vt. 250, 259-60, 478 A.2d 212, 217-18 (1984).1 Stevens concluded that the defendant must be afforded a “meaningful opportunity . . . to address the court, prior to sentencing.” Id. at 260, 478 A.2d at 217 (emphasis in original).
A mandatory sentencing statute, however, effectively denies a criminal defendant the right to defend his liberty at sentencing. At best, the defendant might request the mandatory minimum sentence, but no statement made by way of allocution can alter the mandatory sentence. This procedure does not afford the defendant the “meaningful opportunity” to defend his liberty emphasized in Stevens. Mandatory sentencing provisions such as
II.
In Burlington Drug, we upheld the bond forfeiture there at issue because “the forfeiture of the bond [could not] be said to follow automatically upon a conviction for such an offence.” Id. at 253, 78 A. at 886. By contrast, the mandatory minimum sentences provided by
This state has a long history of concern over disproportionate penalties. The first Council of Censors, mandated by Vermont’s Constitution in 1777 “to enquire whether the Constitution has been preserved inviolate,”
the uncommon severity of the punishments to be inflicted for breaches of said act, and their disproportion to the offenses; it being unjust and impolitic, in the opinion of the Council, as well as contrary to the humanity manifested in the Constitution, to inflict punishments which render a person and his connexions, infamous, and preclude all reformation for crimes which are not infamous in their nature.
Resolutions of the First Council of Censors, No. I, October 5, 1785 (available at Office of Secretary of State). Another resolution recommended repeal of an act which prescribed corporal
The proportionality clause has been in the Vermont Constitution since its origin. See
By force of the statutes at issue here, a person must go to jail if he operates a motor vehicle without a license under these circumstances or if he assaults a police officer (although the assault may be a mere shove). On the other hand, by way of example, a person need not necessarily go to jail if he commits any of the following offenses for which there is no mandatory sentence that may not be suspended; first degree murder,
Of course, sentencing judges may, and do, consider the fact that a license suspension is based upon a conviction for drunken driving or that the person assaulted is a law enforcement officer as aggravating factors when imposing a sentence. Such considerations are both proper and desirable. However, mandatory minimum sentences that cannot be suspended deny defendants their right of meaningful allocution and result in demonstrably disproportionate sentencing structures. As such, they offend the Vermont Constitution and are invalid under our fundamental law.5
